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Hitesh Panchal

Smbc Nikko Securities America, Inc.

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About Hitesh Panchal

Hitesh Panchal is a financial professional with experience in the financial services industry. Hitesh has been registered with FINRA since 2010. Hitesh is currently registered with Smbc Nikko Securities America, Inc. in Jersey City, NJ. Hitesh has held previous positions with J.P. Morgan Securities LLC, Sanford C. Bernstein & Co., LLC, Transamerica Financial Advisors, Inc., and World Group Securities, Inc. Hitesh holds Series 6, 7, 99TO, and SIE licenses.

Firm Information

Hitesh Panchal is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Hitesh Panchal’s Registration & Firm History

NJ

03/04/2022 - Present

Smbc Nikko Securities America, Inc. (Jersey City NJ)

NY

01/30/2020 - 02/10/2022

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

08/05/2017 - 11/01/2018

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

CA

01/06/2012 - 08/23/2012

TRANSAMERICA FINANCIAL ADVISORS, INC (MODESTO CA)

CA

01/14/2011 - 01/06/2012

WORLD GROUP SECURITIES, INC. (MODESTO CA)

CA

04/23/2010 - 10/18/2010

WADDELL & REED, INC. (FRESNO CA)

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Licenses & Designations

BC

Issued 03/18/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/02/2024

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/05/2017

Series 7 - General Securities Representative Examination

BC

Issued 04/22/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

Disclosures

There are no public disclosures for Hitesh Panchal.
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